發(fā)布時(shí)間：2018-06-12 04:16

  本文選題：內(nèi)幕交易罪 + 內(nèi)幕信息��； 參考：《湖南大學(xué)》2014年碩士論文

【摘要】：隨著我國(guó)證券金融市場(chǎng)的發(fā)展,獲取內(nèi)幕信息的方式越來(lái)越隱蔽,進(jìn)行內(nèi)幕交易的主體也越來(lái)越廣,內(nèi)幕交易犯罪日益增多,引起了學(xué)界的廣泛關(guān)注,內(nèi)幕交易犯罪的認(rèn)定也因此成為當(dāng)前研究的熱點(diǎn)。2009年江蘇省發(fā)生的劉某內(nèi)幕信息交易案就是因?yàn)槠涠ㄐ陨系臓?zhēng)議而引起社會(huì)關(guān)注的典型案例。劉某作為國(guó)家機(jī)關(guān)工作人員,以內(nèi)幕交易罪被追究刑事責(zé)任,這在我國(guó)是首例。劉某等人內(nèi)幕交易案涉及三個(gè)方面的爭(zhēng)議問題：一是上市公司重大資產(chǎn)重組洽談事件是否屬于內(nèi)幕信息；二是劉某作為國(guó)家機(jī)關(guān)工作人員參與重組洽談是否屬于內(nèi)幕信息的知情人員；三是劉某與陳某的行為是否構(gòu)成共同犯罪。通過(guò)對(duì)本案的分析,可以得出如下結(jié)論：首先,中國(guó)電子科技集團(tuán)公司第十四研究所與高淳公司進(jìn)行資產(chǎn)重組洽談涉及高淳公司31.33%股權(quán)的變更,屬于涉及公司股權(quán)結(jié)構(gòu)的重大變化,對(duì)高淳公司股票價(jià)格會(huì)產(chǎn)生實(shí)質(zhì)性的重大影響,屬于內(nèi)幕信息。其次,劉某作為國(guó)家機(jī)關(guān)工作人員參與整個(gè)洽談過(guò)程,洽談雙方在洽談中均告知了劉某洽談的進(jìn)程,劉某也多次向南京市政府匯報(bào)了洽談的相關(guān)情況,因而劉某是因履行工作職責(zé)接觸內(nèi)幕信息而知曉內(nèi)幕信息的知情人員。再次,劉某知悉內(nèi)幕信息后,授意其妻子陳某利用二人家庭實(shí)際控制的幾個(gè)股票賬戶和劉某向蔣某和薛某借來(lái)的巨資購(gòu)買股票然后賣出,獲取了巨額的非法利益。二者因?yàn)榉蚱揸P(guān)系的特殊性使得其在利用內(nèi)幕信息交易上形成了共同故意,并實(shí)施了內(nèi)幕交易行為,應(yīng)當(dāng)認(rèn)定為內(nèi)幕交易罪的共同犯罪。
[Abstract]:With the development of China's securities financial market, the ways of obtaining insider information are becoming more and more hidden, the subject of insider trading is becoming more and more extensive, and the crime of insider trading is increasing day by day, which has aroused the widespread concern of the academic circles. Therefore, the identification of insider trading crime has become the focus of current research. The case of Liu Mou insider information trading occurred in Jiangsu Province in 2009 is a typical case of social concern because of its qualitative controversy. Liu, as a state official, is investigated for criminal responsibility for insider trading, which is the first case in China. There are three controversial issues involved in the insider trading case of Liu et al. One is whether the major asset reorganization negotiation event of listed company belongs to insider information; Second, Liu as a state organ staff to participate in restructuring negotiations whether the insider information of the informed personnel; third, Liu and Chen's behavior constitutes a joint crime. Through the analysis of the case, we can draw the following conclusions: first, the 14th Research Institute of China Electronic Science and Technology Group Company and Gaochun Company conducted asset restructuring negotiations involving the change of 31.33% equity rights of Gaochun Company. It belongs to the substantial influence on the stock price of Gaochun Company and belongs to the insider information. Secondly, Liu, as a staff member of state organs, participated in the whole negotiation process. Both sides of the negotiations informed Liu of the process of the talks. Liu also reported back to the Nanjing Municipal Government many times about the discussions. As a result, Liu is an informed person who knows insider information because he is performing his duties. Once again, Liu knows inside information, instructs his wife Chen to make use of several stock accounts actually controlled by the two-person family and Liu Mou to buy stocks from Jiang and Xue, and then sell them, making a huge amount of illegal profits. Because of the particularity of the relationship between husband and wife, they have formed the common intention in using insider information trading, and have carried out the behavior of insider trading, which should be regarded as the joint crime of insider trading crime.
【學(xué)位授予單位】：湖南大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D924.3

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本文編號(hào)：2008303